Goldman Sachs Group, Inc.
OUR IMPACT The Compliance division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. As an independent control function and part of the firm's second line of defence, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. YOUR IMPACT This is a VP level role within the London FICC Compliance Team providing compliance coverage for our market leading Rates business. The role is to head our Compliance coverage for the EMEA Rates business and the successful candidate will report into the EMEA Head of Rates and Currencies Compliance, which is part of the FICC Compliance team that sits within the EMEA Global Banking & Markets - Public Compliance Team. Requirements of the role: Trading floor based role providing real-time compliance counsel to the Rates business units, with regards to relevant rules, regulations and internal policies. Provision of pro-active risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives. Assistance with the interpretation and implementation of new rules/regulation. Development and delivery of both ad-hoc and annual face-to-face training. Development and deployment of second line controls and assisting the first line with the development of their controls. Review of new algorithms and other electronic related business initiatives. Review of complex and strategic marketing materials. Co-ordination with the broader FICC & Equities Compliance Team as well as Federation and Financial Crime Compliance on initiatives and projects. Participation in compliance regulatory and internal investigations and audits. Liaising with local regulators and Exchange/MTF operators and coordination of responses to ad-hoc regulatory enquiries. Leading and/or executing the Compliance Risk Assessment for the Rates businesses. SKILLS AND EXPERIENCES WE ARE LOOKING FOR Vice President level Minimum 5 years Markets Compliance experience gained by working on a trading floor for a Tier 1 house or others with sophisticated algorithmic/electronic business units and/or complex financing capabilities Degree level or equivalent (not essential if has relevant working experience) Professional qualifications such as CA, CFA, Solicitor or Bar exams an advantage Excellent practical understanding of FICC asset classes (both Cash and Derivatives), and Rates in particular Pro-active, self-motivated, assertive and well organized Ability to work independently and yet remain a strong team player Forward looking, focused on improving and streamlining controls and processes Ability to handle multiple tasks simultaneously and work to tight deadlines Excellent communication skills both written and oral Languages an advantage (particularly French and/or German) Ability to code or understand code would be an advantage Previous experience of trading FICC products would be an advantage Proactive approach to problem solving Deep interest in the financial markets and a willingness to continually learn Excellent understanding of EU and US regulations (MIFID II, MAR, Benchmarks, REMIT, FX Global Code, LBMA Precious Metals Code, EMIR, CFTC, SEC ) Ability to enrich and thrive in an international and diverse, inclusive environment ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
OUR IMPACT The Compliance division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. As an independent control function and part of the firm's second line of defence, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. YOUR IMPACT This is a VP level role within the London FICC Compliance Team providing compliance coverage for our market leading Rates business. The role is to head our Compliance coverage for the EMEA Rates business and the successful candidate will report into the EMEA Head of Rates and Currencies Compliance, which is part of the FICC Compliance team that sits within the EMEA Global Banking & Markets - Public Compliance Team. Requirements of the role: Trading floor based role providing real-time compliance counsel to the Rates business units, with regards to relevant rules, regulations and internal policies. Provision of pro-active risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives. Assistance with the interpretation and implementation of new rules/regulation. Development and delivery of both ad-hoc and annual face-to-face training. Development and deployment of second line controls and assisting the first line with the development of their controls. Review of new algorithms and other electronic related business initiatives. Review of complex and strategic marketing materials. Co-ordination with the broader FICC & Equities Compliance Team as well as Federation and Financial Crime Compliance on initiatives and projects. Participation in compliance regulatory and internal investigations and audits. Liaising with local regulators and Exchange/MTF operators and coordination of responses to ad-hoc regulatory enquiries. Leading and/or executing the Compliance Risk Assessment for the Rates businesses. SKILLS AND EXPERIENCES WE ARE LOOKING FOR Vice President level Minimum 5 years Markets Compliance experience gained by working on a trading floor for a Tier 1 house or others with sophisticated algorithmic/electronic business units and/or complex financing capabilities Degree level or equivalent (not essential if has relevant working experience) Professional qualifications such as CA, CFA, Solicitor or Bar exams an advantage Excellent practical understanding of FICC asset classes (both Cash and Derivatives), and Rates in particular Pro-active, self-motivated, assertive and well organized Ability to work independently and yet remain a strong team player Forward looking, focused on improving and streamlining controls and processes Ability to handle multiple tasks simultaneously and work to tight deadlines Excellent communication skills both written and oral Languages an advantage (particularly French and/or German) Ability to code or understand code would be an advantage Previous experience of trading FICC products would be an advantage Proactive approach to problem solving Deep interest in the financial markets and a willingness to continually learn Excellent understanding of EU and US regulations (MIFID II, MAR, Benchmarks, REMIT, FX Global Code, LBMA Precious Metals Code, EMIR, CFTC, SEC ) Ability to enrich and thrive in an international and diverse, inclusive environment ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
Goldman Sachs Group, Inc.
OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. YOUR IMPACT This is a Team Manager role with a primary focus on strategic uplifts within the AM Compliance program. The role will include leading a team, and collaborating with the broader AM Compliance team, to enhance aspects of the Compliance program, implementing new regulations and representing Compliance in supporting new business initiatives. In addition, the role's primary function, other areas of responsibilities include providing compliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management International ("GSAM") based in London, where GSAM is part of Asset Management ("AM"). The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to compliance queries from the business, uplift compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in compliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity. You will need the following: Ability to work as part of a team of Compliance professionals as well as lead on various Compliance matters and projects Good familiarity with all aspects of Asset Management Compliance Represent Compliance on projects such as new activities, new products or regulatory reform Understanding of Compliance programs and development and implementation of those programmes Production of materials and presentation of those to senior firm committees and/or board Ability to deal with senior business personnel and deliver good compliance outcomes in time constrained situations RESPONSIBILITIES Compliance advisory on investing activity and associated governance requirements Compliance advisory regarding global asset management marketing and distribution questions and Asset Management digital strategy, including review of marketing materials Compliance advisory on new AM fund launch projects Prepare, organise and deliver compliance trainings Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs Lead and manage strategic Compliance projects, including Compliance enhancement, business initiatives and regulatory reform Participate in compliance working groups for firm strategic initiatives Compliance monitoring of any aspects of FCA regulations, and other international regulators, as part of general monitoring or forensic review work Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices Miscellaneous projects as required REQUIREMENTS 5+ years compliance experience in asset management Risk and control focused individual with excellent judgment Knowledge of investment instruments including derivatives General compliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives, ELTIF regulation. Knowledge of CSSF, CBI, BaFin, SEC, Investment Adviser's Act, Investment Company Act, ERISA is helpful but not required. Effective analytical and organizational skills Strong verbal and written communication skills Ability to handle multiple tasks with attention to detail and work under pressure Ability to work both independently and as part of a team Graduate equivalent education (Preferred) ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. YOUR IMPACT This is a Team Manager role with a primary focus on strategic uplifts within the AM Compliance program. The role will include leading a team, and collaborating with the broader AM Compliance team, to enhance aspects of the Compliance program, implementing new regulations and representing Compliance in supporting new business initiatives. In addition, the role's primary function, other areas of responsibilities include providing compliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management International ("GSAM") based in London, where GSAM is part of Asset Management ("AM"). The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to compliance queries from the business, uplift compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in compliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity. You will need the following: Ability to work as part of a team of Compliance professionals as well as lead on various Compliance matters and projects Good familiarity with all aspects of Asset Management Compliance Represent Compliance on projects such as new activities, new products or regulatory reform Understanding of Compliance programs and development and implementation of those programmes Production of materials and presentation of those to senior firm committees and/or board Ability to deal with senior business personnel and deliver good compliance outcomes in time constrained situations RESPONSIBILITIES Compliance advisory on investing activity and associated governance requirements Compliance advisory regarding global asset management marketing and distribution questions and Asset Management digital strategy, including review of marketing materials Compliance advisory on new AM fund launch projects Prepare, organise and deliver compliance trainings Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs Lead and manage strategic Compliance projects, including Compliance enhancement, business initiatives and regulatory reform Participate in compliance working groups for firm strategic initiatives Compliance monitoring of any aspects of FCA regulations, and other international regulators, as part of general monitoring or forensic review work Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices Miscellaneous projects as required REQUIREMENTS 5+ years compliance experience in asset management Risk and control focused individual with excellent judgment Knowledge of investment instruments including derivatives General compliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives, ELTIF regulation. Knowledge of CSSF, CBI, BaFin, SEC, Investment Adviser's Act, Investment Company Act, ERISA is helpful but not required. Effective analytical and organizational skills Strong verbal and written communication skills Ability to handle multiple tasks with attention to detail and work under pressure Ability to work both independently and as part of a team Graduate equivalent education (Preferred) ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity